For involvement in the submission of mortgage applications containing false information, and for making false and misleading statements to the FCA.
FCA
For misleading investment advice.
For misleading investment advice.
Former compliance officer fined for failing to act with due skill, care and diligence.
For misconduct relating to the London Interbank Offered Rate (LIBOR).
For failing to treat its mortgage customers fairly.
For a lack of integrity and for failing to deal openly and transparently with the regulator.
For serious failings relating to its Chief Investment Office’s "London Whale" trades.
For failing to ensure it gave suitable investment advice to its customers.
For failing to identify, and therefore properly protect, client money placed in Money Market Deposits with third party banks.
